Device configured to manage secure ingestion of documents into an information system, and methods for operating such a device

ABSTRACT

Described herein are systems and methods for managing electronic documents. In particular, embodiments of the present invention are focussed on managing ingestion of documents into an information system, such as ingestion of documents generated by a device having scanning functionality. Embodiments include devices, software (defined by computer executable code), carrier media, and methodologies. In overview, a document is received from an ingestion source, such as a Multi Function Device (MFD) having a scanner. For example, the document is a scanned into an electronic form from a paper form. This electronic form is subjected to additional processing thereby to implement a predefined security protocol prior to the document (or a modified version thereof) being released into an information system.

FIELD OF THE INVENTION

The present invention relates to a device configured to manage secureingestion of documents into an information system, and methods foroperating such a device (for example computer implemented methodsperformed by execution of computer readable code). Embodiments of theinvention have been particularly developed thereby to provide a securefilter between an ingestion source, such as a scanner or multifunctiondevice, and an information system, thereby to selectively enable orprevent documents from being ingested (e.g. saved in electronic form)within the information system. While some embodiments will be describedherein with particular reference to that application, it will beappreciated that the invention is not limited to such a field of use,and is applicable in broader contexts.

BACKGROUND

Any discussion of the background art throughout the specification shouldin no way be considered as an admission that such art is widely known orforms part of common general knowledge in the field.

The ability to quickly and easily create electronic copies of adocument, for example using a scanner or other such device, creates asubstantial cause for concern in environments where confidential andotherwise sensitive information is handled. Although a great deal ofdocument security technology has been developed to deal with problemsassociated with maintaining security of documents within an informationsystem, once such documents are printed (or otherwise exported beyondthe control of such document security technology) it becomes verydifficult to manage risks associated with unauthorised duplication andthe like.

SUMMARY OF THE INVENTION

It is an object of the present invention to overcome or ameliorate atleast one of the disadvantages of the prior art, or to provide a usefulalternative.

One embodiment provides a computer implemented method for managingingestion of documents into an information system, the method including:

receiving, from an ingestion source, via an input coupled to theingestion source, data indicative of a document;

storing the document in a memory location isolated from the informationsystem;

processing the document based on a predefined security protocol therebyto determine an ingestion procedure for the document;

executing the ingestion procedure; and

subject to the execution of the ingestion procedure, selectivelyreleasing a modified version of the document to the information system.

One embodiment provides a method wherein processing the document basedon a predefined security protocol includes performing OCR analysis.

One embodiment provides a method wherein processing the document basedon a predefined security protocol includes determining whether thedocument contains one or more alert artefacts.

One embodiment provides a method wherein the one or more alert artefactsinclude one or more keywords or phrases defined in a list of alertkeywords and/or phrases.

One embodiment provides a method wherein the one or more alert artefactsinclude non-textual artefacts.

One embodiment provides a method wherein determined ingestion procedureincludes a set of steps, wherein one or more of those steps are selectedbased on the determination of presence of alert artefacts in thedocument.

One embodiment provides a method wherein, based on the determination ofpresence of alert artefacts in the document, the ingestion procedureprevents release of any version of the document to the informationsystem.

One embodiment provides a method wherein the ingestion procedureincludes associating one or more aspects of metadata with the document,thereby to at least in part define the modified version of the document.

One embodiment provides a method wherein associating one or more of theaspects of metadata are defined subject to user input.

One embodiment provides a method wherein the ingestion procedureincludes delivering a user interface configured to obtain the userinput.

One embodiment provides a method wherein the one or more aspects ofmetadata include any one or more of: biometric data, ingestion details,user data, security classification data, and content-basedclassification data.

One embodiment provides a method wherein the ingestion procedureincludes inserting additional visible content into the document therebyat least in part define the modified version of the document.

One embodiment provides a method wherein the ingestion source includes adevice having a document scanning functionality.

One embodiment provides a method where the method is performed at adevice distinct from the ingestion source.

One embodiment provides a method wherein the method is performed by adevice that includes the ingestion source.

One embodiment provides a device including:

an input configured to couple the device to a distinct device includingan ingestion source;

an output configured to enable release of a document to an informationsystem;

a processor;

a memory module containing computer executable code that, when executedvia the processor, configured the device to perform a method asdescribed herein.

One embodiment provides a device including:

an ingestion source;

an output configured to enable release of a document to an informationsystem;

a processor;

a memory module containing computer executable code that, when executedvia the processor, configured the device to perform a method asdescribed herein.

One embodiment provides a computer program product for performing amethod as described herein.

One embodiment provides a non-transitive carrier medium for carryingcomputer executable code that, when executed on a processor, causes theprocessor to perform a method as described herein.

One embodiment provides a system configured for performing a method asdescribed herein.

Reference throughout this specification to “one embodiment”, “someembodiments” or “an embodiment” means that a particular feature,structure or characteristic described in connection with the embodimentis included in at least one embodiment of the present invention. Thus,appearances of the phrases “in one embodiment”, “in some embodiments” or“in an embodiment” in various places throughout this specification arenot necessarily all referring to the same embodiment, but may.Furthermore, the particular features, structures or characteristics maybe combined in any suitable manner, as would be apparent to one ofordinary skill in the art from this disclosure, in one or moreembodiments.

As used herein, unless otherwise specified the use of the ordinaladjectives “first”, “second”, “third”, etc., to describe a commonobject, merely indicate that different instances of like objects arebeing referred to, and are not intended to imply that the objects sodescribed must be in a given sequence, either temporally, spatially, inranking, or in any other manner.

In the claims below and the description herein, any one of the termscomprising, comprised of or which comprises is an open term that meansincluding at least the elements/features that follow, but not excludingothers. Thus, the term comprising, when used in the claims, should notbe interpreted as being limitative to the means or elements or stepslisted thereafter. For example, the scope of the expression a devicecomprising A and B should not be limited to devices consisting only ofelements A and B. Any one of the terms including or which includes orthat includes as used herein is also an open term that also meansincluding at least the elements/features that follow the term, but notexcluding others. Thus, including is synonymous with and meanscomprising.

As used herein, the term “exemplary” is used in the sense of providingexamples, as opposed to indicating quality. That is, an “exemplaryembodiment” is an embodiment provided as an example, as opposed tonecessarily being an embodiment of exemplary quality.

BRIEF DESCRIPTION OF THE DRAWINGS

Embodiments of the invention will now be described, by way of exampleonly, with reference to the accompanying drawings in which:

FIG. 1 illustrates a method according to one embodiment.

FIG. 2A illustrates a system according to one embodiment.

FIG. 2B illustrates a system according to one embodiment.

FIG. 3A illustrates a method according to one embodiment.

FIG. 3B illustrates a method according to one embodiment.

FIG. 3C illustrates a method according to one embodiment.

FIG. 3D illustrates a method according to one embodiment.

FIG. 3E illustrates a method according to one embodiment.

FIG. 3F illustrates a method according to one embodiment.

DETAILED DESCRIPTION

Described herein are systems and methods for managing electronicdocuments. In particular, embodiments of the present invention arefocussed on managing ingestion of documents into an information system,such as ingestion of documents generated by a device having scanningfunctionality. Embodiments include devices, software (defined bycomputer executable code), carrier media, and methodologies. Inoverview, a document is received from an ingestion source, such as aMulti Function Device (MFD) having a scanner. For example, the documentis a scanned into an electronic form from a paper form. This electronicform is subjected to additional processing thereby to implement apredefined security protocol prior to the document (or a modifiedversion thereof) being released into an information system.

As used herein, the term “ingestion” refers to a process whereby adocument is received from source (for example an ingestion source thatconverts a hard copy document into an electronic document, or a flashdrive containing documents), and is saved into storage within aninformation system. The technologies and methodologies described hereinrelate to procedures that occur during “ingestion”, i.e. between receiptof the document from an ingestion source and release of the document (ora modified version thereof) into the information system.

Methodology Overview

FIG. 1 illustrates a method 100 according to one embodiment whichprovides an overview of a methodology leveraged by various embodimentsdiscussed herein. This methodology is optionally performed by acomputing device by the execution of computer executable code via one ormore microprocessors of the computing device. In this regard, the term“computing device” describes substantially any machine capable ofexecuting computer-readable code, such as tablet devices, imageprocessing devices, computers, handheld devices, smartphones, and so on.

Functional block 101 represents process including receiving dataindicative of an input document from an ingestion source. The ingestionsource may be integrated with the computing device that performs method100 (for example method 100 is performed by a MFD), or provided by adistinct device (for example where method 100 is performed by acomputing device coupled to a MFD). The term “ingestion source” as usedherein should be afforded a broad interpretation, includingsubstantially any component capable of providing an electronic document.Particular attention is given to ingestion source in the form of“document scanners”, with this term being used to describe any device orcomponent that is configured to define an electronic document from ahard-copy document.

In overview, a user operates an ingestion source, thereby to commenceingestion of a document into a desired information system. So as toprovide a simple practical example, a user may operate a MFD thereby toscan a hard copy document, with the hard copy document to be deliveredto a computer network associated with the MFD.

Following the completion of processes described by functional block 101,data indicative of an ingested input document is available. Functionalblock 102 represents a process including performing a “secure save” ofthe input document. This includes storing the input document in a memorylocation isolated from an information source. The secure save includesstoring digital information defining the input document on a securestorage device. The memory location is isolated from the informationsystem in the sense that a user of another device coupled to theinformation system is unable to identify or otherwise access thesecurely saved version of the input document. For example, in oneembodiment method 100 is performed on a tablet device (or othercomputing device) interposed between a device that provides theingestion source and the information system (i.e. networked devices onthe information system). A firewall (or similar technological means) isoptionally used thereby to permit only one-way communication between thetablet device and the information system. That is, the tablet device isenabled to communicate (e.g. deliver files) to the information system,but devices on the information system are unable to communicate with thetarget device. For example, the tablet device is invisible to theinformation system (i.e. invisible to any networked devices of theinformation system). In this manner, the target device is able toprovide a form of secure filter between an ingestion source, such as ascanner or multifunction device, and an information system, thereby toselectively enable or prevent documents from being ingested (e.g. savedin electronic form) within the information system.

Functional block 103 represents a process including processing the inputdocument based on a predefined security protocol. For example, theprocessing may include conducting analysis of the document graphicalcontent (for example via OCR and other means). This is optionally usedto determine whether the document contains one or more “alertartefacts”. For example, for the or each form of graphical contentanalysis (with OCR being one example), a set of alert artefacts aredefined, and the analysis identifies presence and/or count of such alertartefacts. In the example of OCR, the alert artefacts are preferablykeywords and/or phrases. A list of such keywords and/or phrases isdefined for the predefined security protocol, this list preferably beingcustomized (or customisable on an ongoing basis) for a given set ofcustomer needs. This is discussed in more detail below.

Although the present disclosure focuses on the specific example of OCRanalysis, it will be appreciated that other forms of document graphicalcontent analysis may be performed, these being directed toidentification of graphical artefacts that are character/text based andoptionally non-character/text based (for example logos, barcodes,encoded identification images, and so on).

Based on the processing at 103, an ingestion procedure is determined at104 for the input document. The term “ingestion procedure” describes aset of steps that are performed prior to release (or denial of release)of the document into the information system. In overview, an ingestionprocedure may include one or more of the following categories of steps:

-   -   Association of metadata with the input file (for example based        on ingestion time, user data, document content indicators, user        input, classification data, and so on).    -   Insertion of additional graphical content into the input file        (for example watermarks, caveats, sensitivity indicators,        releasability information, handling instructions, compartments,        and so on).    -   Providing user interface components for the collection of user        input data (such as alphanumeric input data and biometric input        data).    -   Procurement of user data (for example security credentials).        This may be defined for a given implementation based on desired        security procedures (for example a requirement that each        ingestion operation be authorised by two separate users, or the        like).    -   Preventing release and deleting the secure save.

In some embodiments functional block 103 is omitted, and a defaultingestion procedure applied to all documents. Additional disclosureconcerning ingestion procedures is provided further below.

Functional block 105 represents a process including executing theingestion procedure. Subject to completion of the ingestion procedure, amodified version of the input document is selectively released into theinformation system. This is a “modified version” in the sense thatmetadata and other content is inserted into/associated with the inputdocument during the ingestion procedure. The document is “selectivelyreleased” in the sense that, at least in some embodiments, uponcompletion (or failed completion) of the ingestion procedure, there iseither a command to release the document, or a command to prevent thedocument from being released (in which case the securely saved documentis preferably purged).

Decision block 105 represents a process whereby, subject to theexecution of the ingestion procedure (and optionally subject toadditional criteria), the document is either released at 107, or notreleased (in which cases a non-release report is generated at 108).

Where a document is released, that release is preferably performed in amanner defined by a set of release rules defined for the informationsystem, optionally in combination with user instructions and/or based onconstraints defined during the ingestion process (for example allowingrelease to one networked storage location but not others).

In the case of non-release, a report may optionally be generated anddelivered to a predetermined party. This report may include details asto the reason for non-release, including details of the user. In someembodiments a copy of the document is retained in the secure savelocation for review by a higher-level user. In some embodimentsadditional steps are taken in the case of non-release, including thelikes of raising of alarms and/or coordinating actions within an accesscontrol system (for example a lockdown of an area of a buildingincluding the ingestion source).

Exemplary Standalone Device

FIG. 2A illustrates an exemplary framework including a documentingestion security device 100 according to one embodiment. Device 200 isconfigured to manage secure ingestion of documents from an input device201 into a release location 202. In this example, device 200 is atouchscreen-enabled tablet-style device. However, it will be appreciatedthat other forms of device are used in further embodiments. Furthermore,it will be appreciated that, although the example of FIG. 2A illustratesonly a single input device and a single release location, in someembodiments there are multiple input devices and/or multiple releaselocations.

Device 200 includes an input 211 which enables communication betweeninput device 201 and device 200. For example, input 211 may include aserial interface, USB interface, network interface, or the like. Thenature of input device 200 is generally dependent on the nature of inputdevice 201 (and more particularly the manner by which input device 201provides downstream data indicative of input documents).

Device 200 includes a processor 212 coupled to a memory module 213. ThisMemory module 213 contains software instructions 214 that, when executedvia processor 212, enables device 200 to perform a method such as method100 of FIG. 1 (or a variation thereof). Execution of this methodincludes displaying a graphical user interface 217 on a touchscreendisplay 215, thereby to enable the delivery of information to a user,and the collection on information from a user. In some cases additionaluser inputs (such as biometric devices, cameras, buttons, and the like)are provided thereby to collect additional information from a user.

Device 200 additionally includes an output 216, which is coupled torelease location 202. Again, the nature of output 216 varies betweenembodiments, depending on the manner by which release location 202 isconfigured to receive document data. In some embodiments, input 211 andoutput 216 are selected such that device 200 is serially interposedintermediate input device 201 and release location 202, to act as aserial filter on downstream data being communicated between input device201 and release location 202.

Software instructions 214 are illustrated by reference to a set of“modules” which describe functionally distinguishable softwarecomponents. These include:

-   -   A user interface (UI) module 220, which is configured to provide        graphical user interface 217, and receive user input.    -   A document processing module 221 configured to perform one or        more document processing steps (such as OCR and other graphical        analysis, extraction of existing metadata, and so on).    -   An ingestion protocol module 222 configured to determine an        ingestion procedure for the document based on a set of ingestion        rules, and based on input from document processing module 221,        executing the determined ingestion procedure (which in some        embodiments include providing instructions to UI module 220        thereby to enable collection of data required for the ingestion        procedure).    -   A release control module 224 which is responsive to instructions        from the ingestion procedure module 222 and to a set of document        release rules for selectively releasing a modified version of        the input document to release location 202.

Additional disclosure concerning exemplary ingestion rules and releaserules is provided further below.

Exemplary Integrated Device

FIG. 2B illustrates an exemplary framework including an input device 250with integrated document ingestion security. This may be either an inputdevice pre-configured to provide document ingestion security, or aninput device that is modified (for example by way of softwaremodifications) thereby to provide document ingestion security.

Device 250 includes document input components (for example hardwarecomponents associated with document scanning and the like) and inputdevice software instructions 255, which enable device 250 to performinput device specific functionalities. An input device display 253 isconfigured to provide a GUI 254 for both document input functionalities,and for document ingestion functionalities. Otherwise, it will beappreciated that device 250 includes comments corresponding to commentsshown in FIG. 2A, labelled by corresponding reference numerals.

In a further embodiment, document ingestion security is embedded in apersonal computer associated with a network corresponding to releaselocation 202. In such embodiments software instructions 214 provideadditional functionality thereby to prevent documents from an inputsource from reaching a conventional memory location prior to applicationof an ingestion process. For example, software instructions 214 define asecure storage location (or otherwise secured storage approach) usinghardware associated with the personal computer.

Exemplary Ingestion Rules

As noted above, an ingestion procedure is determined for an inputdocument based on the application of a set of ingestion rules, and basedon input from document processing. Ingestion rules may include any oneor more of the following:

-   -   A rule specifying one or more steps that are to be performed for        all input documents. For example, collection of user data may be        required for all documents.    -   A rule specifying one or more steps that are to be performed if        a given document artefact is identified, or in the case that        results of identification of document artefacts satisfy        predefined characteristics. For example, particular steps may be        required in the case that a keyword such as “confidential” is        identified.    -   A rule specifying that one or more steps are to be performed        based on processing of user data. For example, required steps        may vary depending on a level of security clearance associated        with a user.

In some embodiments rules are customisable as part of a configurationprocess. In this manner, document ingestion is able to be specificallyconfigured for a given implementation, taking into consideration factorssuch as sensitive keyword.

Exemplary Release Rules

As noted above, a document is selectively released responsive toinstructions stemming from an ingestion procedure module and to a set ofdocument release rules. Document release rules may include any one ormore of the following:

-   -   In the case that, based on the ingestion procedure, a document        is classified to a given security level, a requirement that a        user having at least that security level authorise the release.        This, for example, prevents a user scanning documents that are        deemed to be above their own security clearance.    -   In the case that, based on the ingestion procedure, a document        is classified to a given security level, a requirement that the        document be released only to storage locations associated with        at least that security level.

It will be appreciated that other release rules may be present infurther embodiments.

In some embodiments release rules may require that a given document beapproved by multiple users prior to ingestion (for example by the usercoordinating ingestion and a further user having predefined securityclearance or the like). In some embodiments this is managed withoutrequiring the multiple users each interact with a device such as 200 or250. Rather, in some embodiments, in response to release rules, anelectronic message is sent to a predefined user (or users) from whomapproval is required prior to release. Whilst pending such approval, thedocument remains “uningested” (for example in memory of a device 200 or250). The message may optionally include data indicative of thedocument, optionally in a redacted form.

In some embodiments additional actions are performed in the event that adocument is not released, for example by generating reports regardingthe content of such documents, users responsible for inputting thedocuments, and reasons for refusal.

Automated Redaction of Documents

Some embodiments provide methods for automated redaction of documents.For example, in some embodiments device 200 is configured to performautomated redaction methods described herein as part of an ingestionprocedure, or as a standalone function.

In overview, an automated redaction method includes receiving, from aningestion source, via an input coupled to the ingestion source, dataindicative of a document. That document is then processed based on apredefined security protocol thereby to identify one or more alertartefacts in the document, based on a predefined set of alert artefacts.As noted above, alert artefacts may include textual (e.g. OCR detected)or non-textual artefacts. Based at least in part upon the identified oneor more alert artefacts (and optionally based on other factors, such asuser security level, user input, and so on), a first “native” securitylevel is determined for the document.

Once the native security level is determined, the document is processedthereby to redact one or more portions based on locations of one or moreof the identified alert artefacts, thereby to define a modified versionof the document having a second security level lesser than the firstsecurity level (referred to as a “reduced” security level). The mannerby which portions are identified varies between embodiments. For exampleone approach includes identification of logical document portions (forexample paragraphs, lines, sentences, etc) based on textually orgraphically identifiable delimiters. Rules are defined for keywords,such that a portion is redacted (e.g. deleted to covered by a mask)based on a rule each time a keyword is identified. For example:

-   -   One rule might redact any consecutive characters following a “$”        sign.    -   One rule might redact any paragraph following a line containing        the word “confidential”.    -   One rule might redact any paragraph containing a product name.

It will be appreciated that rules are conveniently able to be definedfor any given implementation environment during a systempre-configuration process, or during ongoing configuration and/ormaintenance.

In some cases only a single reduced security level version is defined.For example, in some embodiments the method includes determining asecurity level of a user, and selecting the reduced security level basedon the security level of the user. However, in further embodiments themethod includes define multiple reduced security level versions of thedocument having respective unique security levels. In some cases all ofthese are released into an information system. In other cases userinterface 217 enables a user to select which are desired. In some casesa non-redacted version is released at a security level which exceedsthat of the user (the user is not, however, able to access thatdocument). In some cases the multiple versions are released torespective locations in the information system based on their respectivesecurity levels.

Some embodiments enable a user to preview the version of the documenthaving the second security level prior to release into the informationsystem (for instance via user interface 217). This may include enablingthe user to remove and/or add redactions in the preview of the modifiedversion. In such cases, in the event that the user removes and/or addsredactions in the preview of the modified version, there is are-determining of a security level for the user-redacted document.

This form of automated redaction may be applied thereby to provide aform of email filtering (for example in respect of incoming, outgoingand/or internal emails, and/or at a boundary of a file system used tostore emails). For example, outgoing emails are processed based on theautomated redaction method prior to being delivered to their intendedrecipients, and a redacted version presented to the sender for approval.This may be useful in terms of limiting communication regarding varioustopics via email, and/or controlling communication regarding sensitivetopics (optionally responsive to security clearance levels of the senderand/or recipient). For example, in one embodiment each outgoing email istreated as originating at an ingestion source, is processed forautomated redaction as described above (with a proposed redacted versionoptionally being returned to the sender for approval), prior to beingreleased for ingestion by way of delivery through the local mail serverto an intended recipient.

Exemplary Methods

FIG. 3A to FIG. 3F illustrate exemplary document ingestion methodsaccording to various embodiments. In some cases the methods includesimilar steps designated by corresponding reference numerals. It will beappreciated that these methods are performable by a device, such asdevice 200, by execution of computer executable code.

In method 300 of FIG. 3A, an input document is received at 301. A userinterface is displayed at 302, which instructs a user to provide variousaspects of information (for example credentials, document explanation,responses to questions, and so on). Responses are received at 303.Document metadata is then updated at 304, and determinations made as tosecurity level and releasability made at 305. Based on decision 306, thedocument is either released at 307, or not released and a report onnon-release generated at 308.

In method 310 of FIG. 3B, an input document is received at 301. Thatdocument is processed at 312 based on identification of artefacts, anddocument metadata updated at 304. Determinations are made as to securitylevel and releasability made at 305. Based on decision 306, the documentis either released at 307, or not released and a report on non-releasegenerated at 308.

In method 320 of FIG. 3C, an input document is received at 301.Redactability analysis is performed at 331. This may include processingbased on artefacts (and or other means), determination of a securitylevel, and then determination as to whether redaction to removeartefacts and surrounding data would result in decreased security level.Based on that analysis, one or more redacted versions are defined at332, and document metadata updated for each redacted version at 333.Determinations are made as to security level and releasability made at335 for each version. Based on decision 306, the documents are eacheither released at 337, or not released and a report on non-releasegenerated at 338 (noting that the method may involve both of thesesteps, but only one of the two for each individual redacted version).

In method 330 of FIG. 3D, an input document is received at 301.Processing/classification is performed at 341 (for example using variousmethodologies described further above), resulting in a determinationthat the current user does not have an adequate security level forrelease of the relevant document. Redactability analysis is performed at342, enabling the user to select one or more redacted versions of thedocument at a security level held by the user. The method then continueswith steps 332 to 338 as described by reference to FIG. 3C.

In method 340 of FIG. 3E, an input document is received at 301. Redactability analysis is performed at 331, and a user is enabled at 351 toselect security levels at which redacted versions of the document aredesired. Redacted versions for those levels are then defined at 332, andthe method continues with steps 333 to 338.

Method 350 of FIG. 3F includes a combination of steps described byreference to previous methods, including aspects of artefact-basedprocessing, user-input procurement, and reaction. It will be appreciatedthat this is one of many possible examples for defining more complexmethods from the steps described herein.

Ingestion-triggered Document Tracking

In some embodiments, a document tracking system is configured based upondocument ingestion. For example, document rules are able to beconfigured thereby to monitor access (or attempted access) to ingesteddocuments based on, for example, user preferences (i.e. a user manuallydefines rules for a given document), or based on predefined rules (e.g.based upon identification of alert artefacts).

Document tracking rules may be configured by way of a user interfacewhich enables selection of criteria (for example based upon usersecurity level, alert artefacts, and the like) and response actions (forexample to whom alerts are to be provide in the case that the selectedcriteria are met). This may be used for security purposes (for exampleto enable alerts whenever certain documents are accessed under certainconditions), or as a form of “read receipt” (so as to conveniently trackwhen a set of desired users have all accessed a given document).

In this regard, one embodiment provides a computer implemented methodfor configuring document tracking for a document. The method includesreceiving, from an ingestion source, via an input coupled to aningestion source, data indicative of a document. The document is thenanalysed based on a set of tracking rules, wherein at least one trackingrule is defined by reference to an alert artefact that is identifiablein the document. The document is selectively released into a file system(for example based on other considerations disclosed herein). Based on athe tracking rules, a tracking module is configured to monitor accessand/or attempted access to the document post-release, and providepredefined alert notifications in response to such access/attemptedaccess. Preferably, a given tracking rule is defined by reference to:

-   -   (i) One or more attributes of the ingested document, such as        responsible user, attributes of the responsible user, and        ingestion artefacts;    -   (ii) One or more attributes of an accessing user; and    -   (iii) One or more users to whom an alert is to be delivered.

In this way, a system can be configured to automatically track ingesteddocuments (with or without knowledge of the ingesting user).

Conclusions and Interpretation

It will be appreciated that the disclosure above provides varioussignificant systems and methods for managing document security.

Unless specifically stated otherwise, as apparent from the followingdiscussions, it is appreciated that throughout the specificationdiscussions utilizing terms such as “processing,” “computing,”“calculating,” “determining”, analyzing” or the like, refer to theaction and/or processes of a computer or computing system, or similarelectronic computing device, that manipulate and/or transform datarepresented as physical, such as electronic, quantities into other datasimilarly represented as physical quantities.

In a similar manner, the term “processor” may refer to any device orportion of a device that processes electronic data, e.g., from registersand/or memory to transform that electronic data into other electronicdata that, e.g., may be stored in registers and/or memory. A “computer”or a “computing machine” or a “computing platform” may include one ormore processors.

The methodologies described herein are, in one embodiment, performableby one or more processors that accept computer-readable (also calledmachine-readable) code containing a set of instructions that whenexecuted by one or more of the processors carry out at least one of themethods described herein. Any processor capable of executing a set ofinstructions (sequential or otherwise) that specify actions to be takenare included. Thus, one example is a typical processing system thatincludes one or more processors. Each processor may include one or moreof a CPU, a graphics processing unit, and a programmable DSP unit. Theprocessing system further may include a memory subsystem including mainRAM and/or a static RAM, and/or ROM. A bus subsystem may be included forcommunicating between the components. The processing system further maybe a distributed processing system with processors coupled by a network.If the processing system requires a display, such a display may beincluded, e.g., a liquid crystal display (LCD) or a cathode ray tube(CRT) display. If manual data entry is required, the processing systemalso includes an input device such as one or more of an alphanumericinput unit such as a keyboard, a pointing control device such as amouse, and so forth. The term memory unit as used herein, if clear fromthe context and unless explicitly stated otherwise, also encompasses astorage system such as a disk drive unit. The processing system in someconfigurations may include a sound output device, and a networkinterface device. The memory subsystem thus includes a computer-readablecarrier medium that carries computer-readable code (e.g., software)including a set of instructions to cause performing, when executed byone or more processors, one of more of the methods described herein.Note that when the method includes several elements, e.g., severalsteps, no ordering of such elements is implied, unless specificallystated. The software may reside in the hard disk, or may also reside,completely or at least partially, within the RAM and/or within theprocessor during execution thereof by the computer system. Thus, thememory and the processor also constitute computer-readable carriermedium carrying computer-readable code.

Furthermore, a computer-readable carrier medium may form, or be includedin a computer program product.

In alternative embodiments, the one or more processors operate as astandalone device or may be connected, e.g., networked to otherprocessor(s), in a networked deployment, the one or more processors mayoperate in the capacity of a server or a user machine in server-usernetwork environment, or as a peer machine in a peer-to-peer ordistributed network environment. The one or more processors may form apersonal computer (PC), a tablet PC, a set-top box (STB), a PersonalDigital Assistant (PDA), a cellular telephone, a web appliance, anetwork router, switch or bridge, or any machine capable of executing aset of instructions (sequential or otherwise) that specify actions to betaken by that machine.

Note that while diagrams only show a single processor and a singlememory that carries the computer-readable code, those in the art willunderstand that many of the components described above are included, butnot explicitly shown or described in order not to obscure the inventiveaspect. For example, while only a single machine is illustrated, theterm “machine” shall also be taken to include any collection of machinesthat individually or jointly execute a set (or multiple sets) ofinstructions to perform any one or more of the methodologies discussedherein.

Thus, one embodiment of each of the methods described herein is in theform of a computer-readable carrier medium carrying a set ofinstructions, e.g., a computer program that is for execution on one ormore processors, e.g., one or more processors that are part of webserver arrangement. Thus, as will be appreciated by those skilled in theart, embodiments of the present invention may be embodied as a method,an apparatus such as a special purpose apparatus, an apparatus such as adata processing system, or a computer-readable carrier medium, e.g., acomputer program product. The computer-readable carrier medium carriescomputer readable code including a set of instructions that whenexecuted on one or more processors cause the processor or processors toimplement a method. Accordingly, aspects of the present invention maytake the form of a method, an entirely hardware embodiment, an entirelysoftware embodiment or an embodiment combining software and hardwareaspects. Furthermore, the present invention may take the form of carriermedium (e.g., a computer program product on a computer-readable storagemedium) carrying computer-readable program code embodied in the medium.

The software may further be transmitted or received over a network via anetwork interface device. While the carrier medium is shown in anexemplary embodiment to be a single medium, the term “carrier medium”should be taken to include a single medium or multiple media (e.g., acentralized or distributed database, and/or associated caches andservers) that store the one or more sets of instructions. The term“carrier medium” shall also be taken to include any medium that iscapable of storing, encoding or carrying a set of instructions forexecution by one or more of the processors and that cause the one ormore processors to perform any one or more of the methodologies of thepresent invention. A carrier medium may take many forms, including butnot limited to, non-volatile media, volatile media, and transmissionmedia. Non-volatile media includes, for example, optical, magneticdisks, and magneto-optical disks. Volatile media includes dynamicmemory, such as main memory. Transmission media includes coaxial cables,copper wire and fiber optics, including the wires that comprise a bussubsystem. Transmission media also may also take the form of acoustic orlight waves, such as those generated during radio wave and infrared datacommunications. For example, the term “carrier medium” shall accordinglybe taken to included, but not be limited to, solid-state memories, acomputer product embodied in optical and magnetic media; a mediumbearing a propagated signal detectable by at least one processor of oneor more processors and representing a set of instructions that, whenexecuted, implement a method; and a transmission medium in a networkbearing a propagated signal detectable by at least one processor of theone or more processors and representing the set of instructions.

It will be understood that the steps of methods discussed are performedin one embodiment by an appropriate processor (or processors) of aprocessing (i.e., computer) system executing instructions(computer-readable code) stored in storage. It will also be understoodthat the invention is not limited to any particular implementation orprogramming technique and that the invention may be implemented usingany appropriate techniques for implementing the functionality describedherein. The invention is not limited to any particular programminglanguage or operating system.

It should be appreciated that in the above description of exemplaryembodiments of the invention, various features of the invention aresometimes grouped together in a single embodiment, FIG., or descriptionthereof for the purpose of streamlining the disclosure and aiding in theunderstanding of one or more of the various inventive aspects. Thismethod of disclosure, however, is not to be interpreted as reflecting anintention that the claimed invention requires more features than areexpressly recited in each claim. Rather, as the following claimsreflect, inventive aspects lie in less than all features of a singleforegoing disclosed embodiment. Thus, the claims following the DetailedDescription are hereby expressly incorporated into this DetailedDescription, with each claim standing on its own as a separateembodiment of this invention.

Furthermore, while some embodiments described herein include some butnot other features included in other embodiments, combinations offeatures of different embodiments are meant to be within the scope ofthe invention, and form different embodiments, as would be understood bythose skilled in the art. For example, in the following claims, any ofthe claimed embodiments can be used in any combination.

Furthermore, some of the embodiments are described herein as a method orcombination of elements of a method that can be implemented by aprocessor of a computer system or by other means of carrying out thefunction. Thus, a processor with the necessary instructions for carryingout such a method or element of a method forms a means for carrying outthe method or element of a method. Furthermore, an element describedherein of an apparatus embodiment is an example of a means for carryingout the function performed by the element for the purpose of carryingout the invention.

In the description provided herein, numerous specific details are setforth. However, it is understood that embodiments of the invention maybe practiced without these specific details. In other instances,well-known methods, structures and techniques have not been shown indetail in order not to obscure an understanding of this description.

Similarly, it is to be noticed that the term coupled, when used in theclaims, should not be interpreted as being limited to direct connectionsonly. The terms “coupled” and “connected,” along with their derivatives,may be used. It should be understood that these terms are not intendedas synonyms for each other. Thus, the scope of the expression a device Acoupled to a device B should not be limited to devices or systemswherein an output of device A is directly connected to an input ofdevice B. It means that there exists a path between an output of A andan input of B which may be a path including other devices or means.“Coupled” may mean that two or more elements are either in directphysical or electrical contact, or that two or more elements are not indirect contact with each other but yet still co-operate or interact witheach other.

Thus, while there has been described what are believed to be thepreferred embodiments of the invention, those skilled in the art willrecognize that other and further modifications may be made theretowithout departing from the spirit of the invention, and it is intendedto claim all such changes and modifications as falling within the scopeof the invention. For example, any formulas given above are merelyrepresentative of procedures that may be used. Functionality may beadded or deleted from the block diagrams and operations may beinterchanged among functional blocks. Steps may be added or deleted tomethods described within the scope of the present invention.

The invention claimed is:
 1. A computer implemented method for managingingestion of documents into an information system, the method including:receiving, from an ingestion source, via an input coupled to theingestion source, data indicative of a document; storing the document ina memory location isolated from the information system; processing thedocument based on a predefined security protocol thereby to determine aningestion procedure for the document; executing the ingestion procedure;subject to the execution of the ingestion procedure, selectivelyreleasing a modified version of the document to the information system,and obtaining approval from a plurality of users prior to the documentbeing released into the information system; wherein obtaining approvalfrom a plurality of users prior to the document being released into theinformation system includes: (i) a first user, who is electronicallyauthenticated based on authentication data uniquely associated with thefirst user, providing input representing approval by the first user; and(ii) a second user, who is electronically authenticated based onauthentication data uniquely associated with the second user, providinginput representing approval by the second user.
 2. A method according toclaim 1 wherein processing the document based on a predefined securityprotocol includes performing OCR analysis.
 3. A method according toclaim 1 wherein processing the document based on a predefined securityprotocol includes determining whether the document contains one or morealert artefacts.
 4. A method according to claim 3 wherein the one ormore alert artefacts include one or more keywords or phrases defined ina list of alert keywords and/or phrases.
 5. A method according to 3wherein the one or more alert artefacts include non-textual artefacts.6. A method according to claim 3 wherein determined ingestion procedureincludes a set of steps, wherein one or more of those steps are selectedbased on the determination of presence of alert artefacts in thedocument.
 7. A method according to claim 3 wherein, based on thedetermination of presence of alert artefacts in the document, theingestion procedure prevents release of any version of the document tothe information system.
 8. A method according to claim 1 wherein theingestion procedure includes associating one or more aspects of metadatawith the document, thereby to at least in part define the modifiedversion of the document.
 9. A method according to claim 8 whereinassociating one or more of the aspects of metadata are defined subjectto user input.
 10. A method according to claim 9 wherein the ingestionprocedure includes delivering a user interface configured to obtain theuser input.
 11. A method according to claim 8 wherein the one or moreaspects of metadata include any one or more of: biometric data,ingestion details, user data, security classification data, andcontent-based classification data.
 12. A method according to claim 1wherein the ingestion procedure includes inserting additional visiblecontent into the document thereby at least in part define the modifiedversion of the document.
 13. A method according to claim 1 wherein theingestion source includes a device having a document scanningfunctionality.
 14. A method according to claim 1 where the method isperformed at a device distinct from the ingestion source.
 15. A methodaccording to claim 1 wherein the method is performed by a device thatincludes the ingestion source.
 16. A method according to claim 1 whereinimplementing the ingestion procedure includes configuring a trackingsystem based on a set of tracking rules such that alert notificationsare generated based on the tracking rules in response to the documentbeing accessed.
 17. A method according to claim 1 wherein the ingestionsource includes an email account, such that the method is performed inrespect of an outgoing email.
 18. A method according to claim 1 whereinthe first user and the second user each provide their respective inputsrepresenting approval via a single hardware device.
 19. A methodaccording to claim 1 wherein the first user provides the inputrepresenting approval by the first user via a first hardware device,wherein the method further includes providing an electronic message tothe second user, wherein the second user receives the electronic messageand provides the input representing approval by the second user via asecond hardware device.
 20. A method according to claim 19 wherein theelectronic message includes data indicative of the document.
 21. Adevice including: an input configured to couple the device to a distinctdevice including an ingestion source; an output configured to enablerelease of a document to an information system; a processor; a memorymodule containing computer executable code that, when executed via theprocessor, configured the device to perform a method including:receiving, from an ingestion source, via an input coupled to theingestion source, data indicative of a document; storing the document ina memory location isolated from the information system; processing thedocument based on a predefined security protocol thereby to determine aningestion procedure for the document; executing the ingestion procedure;subject to the execution of the ingestion procedure, selectivelyreleasing a modified version of the document to the information system;and obtaining approval from a plurality of users prior to the documentbeing released into the information system; wherein obtaining approvalfrom a plurality of users prior to the document being released into theinformation system includes: (i) a first user, who is electronicallyauthenticated based on authentication data uniquely associated with thefirst user, providing input representing approval by the first user; and(ii) a second user, who is electronically authenticated based onauthentication data uniquely associated with the second user, providinginput representing approval by the second user.
 22. A device accordingto claim 21 wherein the first user and the second user each providetheir respective inputs representing approval via a single hardwaredevice.
 23. A device according to claim 21 wherein the first userprovides the input representing approval by the first user via a firsthardware device, wherein the method further includes providing anelectronic message to the second user, wherein the second user receivesthe electronic message and provides the input representing approval bythe second user via a second hardware device.
 24. A device according toclaim 23 wherein the electronic message includes data indicative of thedocument.
 25. A device including: an ingestion source; an outputconfigured to enable release of a document to an information system; aprocessor; a memory module containing computer executable code that,when executed via the processor, configured the device to perform amethod including: receiving, from an ingestion source, via an inputcoupled to the ingestion source, data indicative of a document; storingthe document in a memory location isolated from the information system;processing the document based on a predefined security protocol therebyto determine an ingestion procedure for the document; executing theingestion procedure; subject to the execution of the ingestionprocedure, selectively releasing a modified version of the document tothe information system; and obtaining approval from a plurality of usersprior to the document being released into the information system;wherein obtaining approval from a plurality of users prior to thedocument being released into the information system includes: (i) afirst user, who is electronically authenticated based on authenticationdata uniquely associated with the first user, providing inputrepresenting approval by the first user; and (ii) a second user, who iselectronically authenticated based on authentication data uniquelyassociated with the second user, providing input representing approvalby the second user.
 26. A device according to claim 25 wherein the firstuser and the second user each provide their respective inputsrepresenting approval via a single hardware device.
 27. A deviceaccording to claim 25 wherein the first user provides the inputrepresenting approval by the first user via a first hardware device,wherein the method further includes providing an electronic message tothe second user, wherein the second user receives the electronic messageand provides the input representing approval by the second user via asecond hardware device.
 28. A device according to claim 27 wherein theelectronic message includes data indicative of the document.